Reports and Publications

Reports and Publications

This listing includes common periodic SEC reports.

Note: For periodic FOIA reports on Alternative Trading Systems, Fails-to-Deliver Data, Registered Investment Adviers and Broker Dealers, see Frequently Requested FOIA Documents. For occasional reports on current trends and issues facing the securities industry, see SEC Special Studies.
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Date Title Category
Dec. 18, 2012 Assigned Credit Ratings (pdf)
Special Studies
Nov. 15, 2012 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (pdf)
Special Studies
Oct. 25, 2012 Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (pdf)
Special Studies
Oct. 17, 2012 Third Report on the Implementation of SEC Organizational Reform Recommendations (pdf)
Special Studies
Oct. 16, 2012 JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (pdf)
Special Studies
Sept. 7, 2012 Report on Credit Rating Standardization (pdf)
Special Studies
Aug. 30, 2012 SEC Staff Study Regarding Financial Literacy Among Investors
Special Studies
July 31, 2012 Report on the Municipal Securities Market (pdf)
Special Studies
July 20, 2012 JOBS Act Section 106 Report to Congress on Decimalization (pdf)
Special Studies
April 30, 2012 Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (pdf)
Special Studies
April 11, 2012 Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934
Special Studies
March 30, 2012 Report on the Implementation of SEC Organizational Reform Recommendations (pdf)
Special Studies
Feb. 1, 2012 Joint Report on International Swap Regulation (pdf)
Special Studies
  
  
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Date

Date: Dec. 18, 2012

Title: Assigned Credit Ratings (pdf)

Category: Special Studies

Date: Sept. 7, 2012

Title: Report on Credit Rating Standardization (pdf)

Category: Special Studies

Date: Aug. 30, 2012

Title: SEC Staff Study Regarding Financial Literacy Among Investors

Category: Special Studies

Date: July 31, 2012

Title: Report on the Municipal Securities Market (pdf)

Category: Special Studies

Date: July 20, 2012

Title: JOBS Act Section 106 Report to Congress on Decimalization (pdf)

Category: Special Studies

Date: March 30, 2012

Title: Report on the Implementation of SEC Organizational Reform Recommendations (pdf)

Category: Special Studies

Date: Feb. 1, 2012

Title: Joint Report on International Swap Regulation (pdf)

Category: Special Studies